Business & Management: Filings & Annual Reports
Many public companies provide annual reports on their websites, typically under headings like "Investor Relations."
Additionally, you can often find annual reports by searching the following databases:
Collections at UB
Annual Reports of all Corporations Listed on the American, New York and Toronto Stock Exchanges (Microform Collection)
Reproductions of the annual reports of companies that were listed on the New York, American or Toronto stock exchanges, from the years 1955 to 1972 (Note: coverage varies greatly between companies, i.e. some companies may only have one or two annual reports, while others will have a complete run of reports).
Annual Reports of All Corporations Listed on the American, New York and Toronto Stock Exchanges are available at the Annex on microcard at call number MicCard HG4575 .A66. Check the library catalog for access. An index to the companies in this collection can be found here.
Annual reports are filed alphabetically by the name of the company; then chronologically by year.
10-K Reports are detailed annual reports which publicly-traded companies must file with the U.S. Securities and Exchange Commission. In addition to financial statements, 10-K Reports provide extensive background information on the firm's operations, subsidiaries, business segments, properties, legal proceedings, and more.
The library maintains a microfiche collection of 10-K Reports covering the years 1973 - 1996 and owns microfiche for all companies listed on the New York and American Stock Exchanges at the time the report was issued. For these earlier years, the library does not own microfiche 10-K Reports for companies listed only on regional exchanges, the NASDAQ system, or which trade over-the-counter.
10-K Reports are available on microfiche at call number MicFiche HG4028 .B2D56 . Check the library catalog for location information.
10-K Reports on microfiche are arranged alphabetically by company name, then by year within company. To determine whether a company was listed on the New York or American Stock Exchanges during the year in question, consult the "Compact D/SEC" on CD-ROM, or ask a reference librarian.
Additional Collections of Annual Reports
Proxy Reports are annual reports which publicly-traded companies must submit to their shareholders prior to the annual shareholders meeting. Proxy Statements provide background information on major issues which the shareholders must vote upon, including election of officers, executive compensation packages, mergers, and other significant proposals.
The UB Libraries has a microfiche collection of proxy statements covering the years 1973 - 1996. All companies listed on the New York and American Stock Exchanges at the time the report was issued are represented.
Proxy Reports are available on microfiche at call number MicFiche HG 4028 B2 D56. Check the catalog for location.
Proxy Reports on microfiche are arranged alphabetically by company name, then by year within company
Nearly all startups and investment firms file Form Ds with the SEC when they raise money. A Form D filing contains:
- Amount of money raised
- Equity or debt issuance
- Industry category
- Names of the executives and directors
- Addresses for the company, executives, and directors
- Other information - brokers used, commission paid
You can find form D's via EDGAR or the FormDs.com, which indexes Form D documents in real-time.